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Latest Articles and Case studies
Arjun Thirukonda
Feb 29, 20242 min read
Enhancing Short Sale Disclosures: SEC Rule 13f-2 and Form SHO Reporting
The Securities and Exchange Commission (SEC) recently adopted a new Rule 13f-2, as well as an amendment to the NMS Plan which governs the...
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Natarajan Venkatasubramaniam
Jan 25, 20246 min read
Firms Grapple with Regulatory Fatigue: CFTC's Approval of Proposed Amendments to Part 43 and Part 45 Requirements Compound Existing Regulatory Burden
In the current landscape, nearly every financial institution is directing its attention toward a triad of critical activities:
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Lee Corcoran
Jan 18, 20243 min read
Trade Surveillance, Where are we heading?
The growing difficulty in detecting ever more complex illicit trading behaviors continues to increase.
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Admin
Jan 4, 20242 min read
Best Practices for WM Digital Strategy
When wealth and asset management firms are defining the digital strategy for their business, the key to success is ensuring that critical...
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Admin
Dec 18, 20236 min read
Revolutionizing U.S. Treasury Market: SEC's Landmark Decision on Clearing and Broker-Dealer Regulations
The Securities and Exchange Commission (SEC) is historically known for their Christmas Gifts over the years. One such gift was on...
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Admin
Dec 4, 20235 min read
Navigating Emerging Risks and Enhancing Market Integrity: SEC’s 2024 Examination Priorities
The U.S. Securities and Exchange Commission (SEC) published its examination priorities on October 16, 2023, which outlines the critical...
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Admin
Nov 30, 20236 min read
Countdown to Compliance: Preparing for EMIR Refit Go-Live in 2024
The European Market Infrastructure Regulation (EMIR) Refit is set to go live in 150 days under the European Securities and Markets...
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Admin
Nov 27, 20233 min read
SEC Rule 10c-1a: Driving Transparency and Reporting in Securities Finance Transactions
On Oct 13, 2023, The Securities and Exchange Commission (SEC) adopted a new rule, identified as final Rule 10c-1a, under the Securities...
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Admin
Nov 20, 20234 min read
Vigilant Oversight and Market Protection: Unveiling CFTC's 2023 Enforcement Focus on Digital Assets and Compliance Enforcement
The CFTC published its Enforcement Actions Report for Fiscal Year 2023 on November 7th, 2023. This report provides a comprehensive...
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Admin
Mar 23, 20232 min read
Navigating the Complexities of Control Room Compliance
Firms that prioritize these key areas and implement robust control measures can establish a comprehensive control environment that...
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